Our Staff has compiled our research into a database of FINRA Broker Disclosures for Commonwealth Financial Network. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Timothy Allen Weller | 2207115 | 1 | 04/28/2009 | Customer Dispute | Denied | $118,500.00 | $0.00 | See FINRA Report |
| John Francis Walsh | 2386920 | 2 | 04/22/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Thorley | 1624563 | 1 | 04/22/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Cummings | 2162075 | 1 | 04/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Colleen Hartmon Bollom | 2800847 | 1 | 04/17/2009 | Customer Dispute | Denied | $29,202.00 | $0.00 | See FINRA Report |
| Raymond George Dodson | 1660476 | 1 | 04/15/2009 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Christopher Adam Williams | 3019111 | 2 | 04/01/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey D McCarthy | 4617462 | 1 | 03/31/2009 | Customer Dispute | Settled | $12,149.10 | $0.00 | See FINRA Report |
| John Howley Whalen | 1900188 | 3 | 03/25/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael David Lambrix | 4310513 | 3 | 03/20/2009 | Customer Dispute | Denied | $11,300.00 | $0.00 | See FINRA Report |